Merrill Lynch, Pierce, Fenner & Smith Incorporated | Department of Finance

Department of Finance

About
- - - Idaho Department of Finance
      
      Safeguarding the financial health of Idahoans through the appropriate oversight of diverse financial institutions, the education and protection of consumers, and by fostering sensible innovation in the financial services market.
  - - About the Department
      - Department of Finance Administration
      - Department of Finance Director
    - Department Resources
      - Careers
      - Contact Us
  - - News and Media
Consumer Education
Financial Institutions
- - - Financial Institutions Bureau
      
      The Financial Institutions Bureau regulates, supervises and examines state-chartered commercial banks, savings banks, credit unions, bank holding companies, trust companies and business and industrial development corporations.
      
      Learn More...
  - - Digital Asset Custodians (Approved)
    - Unauthorized Use of Name – Waiver Request
Consumer Finance
- - - Consumer Finance Bureau
      
      The Consumer Finance Bureau licenses and supervises financial service providers pursuant to the Idaho Residential Mortgage Practices Act, the Idaho Collection Agency Act, and the Idaho Credit Code.
      
      Learn More...
  - - Mortgage
    - Mortgage Loan Originators
      - Mortgage, Mortgage Loan Servicing, and MLO Information and Forms
  - - Consumer Credit
      - Consumer Lender Forms
    - Collection Agencies
      - Collection Agency Forms
Securities
- - - Securities Bureau
      
      The Securities Bureau administers and enforces several consumer and business protection statutes. Where individuals or entities violate these statutes, appropriate remedies are sought using statutory and administrative enforcement authority. The Bureau also provides assistance in criminal prosecutions when necessary.
      
      Learn More...
Legal
File a Complaint

About
- - - Idaho Department of Finance
      
      Safeguarding the financial health of Idahoans through the appropriate oversight of diverse financial institutions, the education and protection of consumers, and by fostering sensible innovation in the financial services market.
  - - About the Department
      - Department of Finance Administration
      - Department of Finance Director
    - Department Resources
      - Careers
      - Contact Us
  - - News and Media
Consumer Education
Financial Institutions
- - - Financial Institutions Bureau
      
      The Financial Institutions Bureau regulates, supervises and examines state-chartered commercial banks, savings banks, credit unions, bank holding companies, trust companies and business and industrial development corporations.
      
      Learn More...
  - - Digital Asset Custodians (Approved)
    - Unauthorized Use of Name – Waiver Request
Consumer Finance
- - - Consumer Finance Bureau
      
      The Consumer Finance Bureau licenses and supervises financial service providers pursuant to the Idaho Residential Mortgage Practices Act, the Idaho Collection Agency Act, and the Idaho Credit Code.
      
      Learn More...
  - - Mortgage
    - Mortgage Loan Originators
      - Mortgage, Mortgage Loan Servicing, and MLO Information and Forms
  - - Consumer Credit
      - Consumer Lender Forms
    - Collection Agencies
      - Collection Agency Forms
Securities
- - - Securities Bureau
      
      The Securities Bureau administers and enforces several consumer and business protection statutes. Where individuals or entities violate these statutes, appropriate remedies are sought using statutory and administrative enforcement authority. The Bureau also provides assistance in criminal prosecutions when necessary.
      
      Learn More...
Legal
File a Complaint

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Administrative Consent Order

Millennial Financial Group, Inc.; Mackey (Tyree); King (Jeremy); Miner (Pat G.)

Millennial Financial Group, Inc.; Mackey (Tyree); King (Jeremy); Miner (Pat G.)

Consent Order signed by Pat G. Miner

Morgan Asset Management, Inc.; Morgan Keegan & Company

Morgan Asset Management, Inc.; Morgan Keegan & Company

Administrative Consent Order

Morgan Stanley DW Inc.

Morgan Stanley DW Inc.

Agreement and Order

Morgan Stanley & Co. Incorporated

Morgan Stanley & Co. Incorporated

Administrative Consent Order

Multi-Financial Securities Corporation; Batten (James A.); Lodge (James E.)

Multi-Financial Securities Corporation; Batten (James A.); Lodge (James E.)

Agreement and Order

Nexo Capital Inc; Nexo Inc; Nexo Financial Inc; Trenchev, Antoni

Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; First Security Investor Services, Inc.; Van Kasper LLC

Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; First Security Investor Services, Inc.; Van Kasper LLC

Agreement and Order

Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; Wells Fargo Securities LLC

Niece (Richard C.); Gardner (Philip); Seascape Management Co., LLC; Wells Fargo Securities LLC

Agreement and Order

Karel (Vondean Renee)

Karel (Vondean Renee)

Order of Summary Suspension of Broker Dealer Agent Registration

ver: 3.5.2a | last updated: March 21, 2023 at 12:48 pm